Financial Compliance Analyst Resume Sample
Skylar Kovacek
427 Jenkins Shoals,
Chicago,
IL
+1 (555) 717 3467
Work Experience
Senior Financial Compliance Analyst
07/2016
-
PRESENT
Los Angeles, CA
- Ability and willingness to abide by Granite’s Code of Conduct on a daily basis
- Valid driver’s license and ability to drive
- Coordinate financial audits with Corporate Internal Audit and external auditors, namely Ernst & Young
- Ensure SOX compliance for internal controls over key business processes
- Research technical accounting guidance to ensure proper accounting treatment in accordance with GAAP
- Work with other departments across the division to influence business practices which support SOX and GAAP compliance (e.g., purchase order approval limits, revenue recognition, payroll approvals, etc.)
- As requested, assist in financial reporting to Stryker Corporate for monthly closes, quarterly and year-end schedules, statutory vs. management reporting, projects and budgets
Financial Compliance Analyst
04/2009
-
02/2016
Dallas, TX
- Review monthly reconciliations. Work closely with senior finance management and other finance personnel to ensure integrity of accounts
- Collaborate with IT Compliance to ensure General IT Controls are in place
- Work with IT department to ensure financial integrity is maintained after any program and data changes
- Coordinate regulatory audit requests, ensuring timely and complete responses
- Responsible for monitoring changes in GAAP, advising on how changes would impact procedures, developing plan to implement applicable guidance and train existing staff as appropriate
- Review and monitor significant accounting estimates (for example Revenue Recognition, Allowance for Bad Debt, capitalization/depreciation of fixed assets) and evaluate for compliance with company policy and GAAP
- Manage the annual corporate financial statement audit. Coordinate with external auditors for audit of the GAAP financial statements as well as all technical accounting issues and financial statement analytics
B Financial & Compliance Analyst
04/2005
-
02/2009
Los Angeles, CA
- Oversees internal control – documentation, policy, risk mitigation, best business practices
- Conducts compliance testing of site finance accounting
- Assists the Director of Financial Accounting with preparation of annual and mid-year CGS, LLC budgets, and annual Incurred Cost Submissions
- Prepares special, ad-hoc analyses for the CEO, EVP of Finance, and other members of Executive and Senior Management
- Troubleshoots AS400 help desk submissions and assigns Lawson security roles
- Works with the GL Supervisor to manage the Asset Management module-developing processes and procedures as needed
- Participate and execute in the annual fraud risk assessment process, quarterly control self-assessment process and oversight of user account review (UAR) activities. Partner with the finance and accounting functions to review and communicate control policies, procedures and SOP’s to enable effective accounting and finance control
- Track and report internal control performance, operational testing and other performance metrics related to the annual audit procedures and management’s internal testing progress. Use metrics to drive improvement in financial governance control processes globally
- Coordination and management of public accounting and audit assurance skills are required
Education
Central Washington University - Lynnwood Campus
2000 - 2005
Bachelor's Degree in Accounting
Professional Skills
- Excellent organizational skills and ability to work under pressure; sound priority management
- Strong organizational / time-management skills with the ability to prioritize
- Personal computer skills are required and advanced skills with excel, word and access is desirable
- Possession of excellent analytical, problem–solving, and documentation skills
- Possession of excellent analytical, problem-solving, and documentation skills
- Possess good presentation, analytical, and collaborative skills in addition to an understanding of accounting principles, practices and procedures
- Experience,t hat includes public accounting and/or internal audit experience in a Fortune 500 company
How to write Financial Compliance Analyst Resume
Financial Compliance Analyst role is responsible for accounting, documentation, travel, research, design, reporting, payroll, security, auditing, training.
To write great resume for financial compliance analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Financial Compliance Analyst Resume
The section contact information is important in your financial compliance analyst resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Financial Compliance Analyst Resume
The section work experience is an essential part of your financial compliance analyst resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous financial compliance analyst responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular financial compliance analyst position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Financial Compliance Analyst resume experience can include:
- Working experience in Financial Data Analytics
- Some experience with accounting and enterprise resource planning and reporting systems and the internal control implications of such systems
- Responsible for implementing and maintaining the effectiveness of the monitoring policies and procedures
- Experience with Internal Control over Financial Reporting (ICFR) and understanding of the Sarbanes Oxley Act of 2002
- Experience in international working environment, preferably the outsourcing area
- Handle multiple and shifting priorities without losing focus is necessary
Education on a Financial Compliance Analyst Resume
Make sure to make education a priority on your financial compliance analyst resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your financial compliance analyst experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Financial Compliance Analyst Resume
When listing skills on your financial compliance analyst resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical financial compliance analyst skills:
- Effectively document process and controls, identify risks in control design and partner effectively in remediation processes is required
- Global player: ability to think globally but to work effectively on regional and local level by considering different cultures and ways of working
- Ensure regular execution of controls and tracking of evidence including of checks for evidence to ensure quality
- Strong, effective communication in relation to key stakeholders (global, regional, local), including senior managers
- Complete the SOX process (test plans, sampling, and test scripts) ensure Corporate SOX deadlines are timely and effectively achieved
- Strong communication skill in English and Cantonese
List of Typical Experience For a Financial Compliance Analyst Resume
1
Experience For Senior Financial Compliance Analyst Resume
- Thorough understanding of external audit and management testing processes, and the ability to work effectively with the auditors
- Assist with monitoring compliance with Pall’s various financial policies and procedures, including follow-up with potential instances of non-compliance
- Achieve monthly, quarterly and annual reporting deadlines with accurately reported data
- While ensuring compliance with the Corporate and R&D Policies and Procedures
- Review and approve HCP/HCO contract related shopping carts and check requests in SRM
- Assist with monitoring results and follow-up of action plans for financial compliance programs
- HKICPA or Certified Public Accountant
- Presentable and able to work closely with regional teams
2
Experience For Internal Controls & Financial Compliance Analyst Resume
- Complete the OUS reportable expenses template monthly and upload data into the PWC SharePoint site
- Participate in Transparency Team conference calls with Corporate OEC and in development of R&D processes to comply with Corporate OEC, Federal, and State Transparency requirements
- Participate in HCP/HCO Affiliate Lead conference calls with OUS affiliates to ensure compliance with EFPIA requirements
- Provide active representation of R&D Finance Compliance on cross-divisional and intra-divisional teams
- Prepare expense items that violate an OPPF rule for presentation at the Compliance Review Committee
- Lead the on-site activities related to the vendor’s external audit to ensure audit runs smoothly
3
Experience For Senior Global Financial Compliance Analyst Resume
- Perform Financial Compliance Reviews, including development of workprograms, testing schedules, and performing compliance reviews of the internal Technical Accounting Bulletins and Financial Operating Procedures to ensure integrity of accounting and reporting across the health system
- Assist the Director of Financial Compliance and Controls in the development and implementation of standard accounting policies and procedures for the Health System; and assists regional management and staff in the interpretation and implementation of the approved policies and procedures within the local entities
- Assist in the reporting of financial and statistical compliance information; summarize findings based on audit and monitoring efforts and communicate critical financial issues; to be distributed to senior leadership and Compliance Committee Board and others as appropriate
- Identify areas of risk to the organization, and assists in establishing, communicating, and monitoring mitigation plans and action strategies where compliance issues are raised
- Review business process and financial controls across the Health System
- Define requirements to ensure third-party vendor (TPV) is properly trained to understand program and reporting requirements including development of analysis templates, training of TPVs, creation of job aids, and video tutorial opportunities
- Ensure correct reporting for all Transfer of Value (TOV) from AbbVie to the reportable Health Care Professionals (HCPs) and Teaching Hospitals (HCOs) for US Commercial
4
Experience For B Financial & Compliance Analyst Resume
- Support/research HCP Dispute Resolution, transparency and audit related questions
- Listens actively to acquire information and understand others’ viewpoint. Initiates and cultivates open, honest, and beneficial relationships with colleagues and customers by establishing rapport, developing an understanding of others’ needs, and promoting common goals
- System knowledgeable in MARs, Lanyon, DataMart, AggSpend 360, iSight and Rapid Zone usage
- Perform Financial Compliance Reviews, including development of work programs, testing schedules, and performing compliance reviews of the internal Technical Accounting Bulletins and Financial Operating Procedures to ensure integrity of accounting and reporting across the health system
- Assists and/or leads key elements of the Company’s global SOX compliance program, communicating and coordinating with stakeholders to ensure the program is integrated, efficient, and effective
- Express ideas and opinions to all levels of employees, including leadership in various business units, while effectively soliciting cooperation to accomplish tasks and challenge ideas and the status quo
5
Experience For Senior Financial & Compliance Analyst Resume
- Proficiency in Microsoft applications including Excel, Word and PowerPoint
- Familiar with technical GAAP and financial reporting research and analysis
- Role Type: Individual Contributor
- Department Name / Franchise: Finance / Cross Sector
- Reports to (Title / Designation): Senior Manager Compliance
- Provide trainings to all business process owners for any change/update in Financial procedures
- Risked based reviews, answering questions, efficiency projects, business partnering with stakeholders, assisting business process owners with adoption of ICHs, WWPs, DTPs
6
Experience For Financial Compliance Analyst, Mid Resume
- Complete standard Compliance document requirements: DCMs, Hand-off’s, SOPs and submission of required SOX templates (system inventory templates, SOX questionnaires)
- Conduct of all compliance due diligence for transitions in-scope
- Monitor and drive the Corrective Action Plan (CAP) process, to ensure prior audit recommendations (CIA, PWC or regulatory agency) and key control gaps per SOX testing are implemented and other internal control gaps are closed timely and effectively
- Executes and completes a wide range of financial services and deliverables. Assesses reasonableness and relevance of financial assumptions. Exercises considerable discretion as to work details
- Provides ad hoc analysis to support complex decision making. Proposes final recommendations to client
- Initiates and implements process improvements across departments and work groups. Develops and proposes solutions to ambiguous problems. Develops creative and cost-effective solutions
- Assist in all financial compliance activities for a complex, global (+$2.5B) business in consultation with Finance Leadership and supports the global accounting and reporting functions
7
Experience For Financial Compliance Analyst Resume
- Assist with research on reporting, accounting and compliance matters in highly complex, global environments
- Support global Sarbanes Oxley compliance in accordance with parent company requirements, including development of SOX deliverables, delivery of related training to Pall associates, testing and/or review of key controls
- Strong interpersonal skills and ability to influence; ability to work both independently and in a team environment
- Support Pall’s Continuous Monitoring Program’s data analytics program using prior audit experience
- Assist manager with interfaces with external and internal auditors to ensure support is provided to facilitate completion of audit procedures in a timely and efficient manner
- Experience with reviewing government–related Standard Forms (SF), financial statements, and invoices
8
Experience For Senior Financial Compliance Analyst Resume
- CIA designation and/or previous audit experience is considered an asset
- Support Finance Leadership with ad hoc financial reporting requests and compliance matters
- Assist manager as needed for DHR Internal Audit remediation support – track and coordinate issue resolution
- Participate in Pall’s Balance Sheet Review Program
- Assist with development and implementation of programs to enhance the global financial controls environment
- Identify, recommend and actively participate in business process improvement opportunities
- CA, CPA is required
9
Experience For Internal Controls & Financial Compliance Analyst Resume
- Previous exposure to SOX compliance an asset
- W2 no sponsorship
- Assist with special projects designed to improve the financial performance of finance shared services including identifying opportunities for standardization; consolidation of financial tracking and reporting of financial transactions; developing recommendations for consideration by finance leadership; and directing the implementation of approved recommendations as assigned
List of Typical Skills For a Financial Compliance Analyst Resume
1
Skills For Senior Financial Compliance Analyst Resume
- Strong systems skills including proficiency in Microsoft Excel and SAP (ECC Ledger and SRM Purchasing)
- At least five (5) years’ relevant experience in project management, financial auditing or a related field
- Knowledge of financial accounting for complex multinational organization; strong business acumen
- Proven increasingly responsible finance and team leadership in a technically demanding environment
- Operational experience within a company having multiple locations, subsidiaries and divisions
- Experience in external audit processes, assurance and financial reporting cycles necessary
- Experience in a Big 4 or second tier public accounting firm is desired.
- Experience in the below areas
- Advisory level knowledge and experience with internal control frameworks such as COSO is required
2
Skills For Internal Controls & Financial Compliance Analyst Resume
- Analyze SAP transactions monthly to determine which transactions are transparency reportable and validate appropriate support is attached
- Strong knowledge of SOX requirements, Public Company Accountability Oversight Board (PCAOB) trends, and the COSO internal control framework
- Stay abreast of changing rules and legislation; and the implement the ongoing testing requirements and documentation accordingly
- Basic understanding of Generally Accepted Accounting Principles (GAAP) or International Financial Reporting Standards (IFRS) required
- Evaluate Division’s operational controls and provide ongoing internal control consulting
- Participate in analysis for ongoing CIA/State/Federal reporting and ad hoc requests from R&D Management and Auditors (Internal/External)
- Manage monitoring requirements by ensuring review completed in a timely manner. Work with TPVs to meet timelines and provide appropriate documentation
- Execution of preventive & detective UA/SOD Controls (e.g. granting, facilitating appropriateness & semi-annual reviews) across all ERP systems
3
Skills For Senior Global Financial Compliance Analyst Resume
- Responsible for completing SRM budgetary/financial approver requests and maintaining financial table
- Perform periodic reporting on execution of controls and quality
- Actively support designed activity split between the SSC and the countries related to ICFR and mitigating control activities
- Understands and applies complex concepts and facilitates interpretation and understanding of data
- Results focused while ensuring a high level of quality; detail oriented
4
Skills For B Financial & Compliance Analyst Resume
- Deep understanding of financial compliance and internal controls concepts
- Independent, positive work and learning attitude
- Conduct transparency reporting and reconciliation of US and OUS check requests & purchase order payments
- Complete the US transparency customer expense template monthly and upload data into the Agg360 OEC reporting system
- Review and approve HCP/HCO contract related shopping carts
- Undertake Quarterly SOX testing activities
5
Skills For Senior Financial & Compliance Analyst Resume
- Support Sectors during Corporate Financial Audits
- Travel domestically and internationally for business meetings, workshops and leadership meetings
- Analytical, proactive and detail oriented
- Handle multiple tasks and function in a team oriented, fast paced environment
- Ensure timeliness and accuracy of various financial compliance reporting activities and liaise with Global /Region/Territory/Countries Financial Compliance personnel for clarification/action
- Assist Global Financial Compliance Lead with the analysis of financial compliance reporting from Regions/Territories and with the preparation of presentation material for Leadership Team meetings
- Assist Global Financial Compliance Lead in ensuring that the consolidation and group level financial compliance reporting processes
- Planning and execution of independent management walkthroughs and testing in the global delivery centers and also in small remote entities, newly acquired, integrated companies and external suppliers, where required
6
Skills For Financial Compliance Analyst, Mid Resume
- Planning and coordination of internal IT audits, with internal IT auditors. Facilitate internal/external audits and drive the resolution of outstanding audit points
- Strong awareness of Financial & IT risks and effective ways of risk management
- Experience in a non-profit organization in the international development sector an asset
- Very good Spanish, both spoken and written
- Excellent knowledge of the Microsoft Office suite, especially Excel
- Upervisory experience in internal audit/compliance function
- Knowledge and/or experience with FAR
- Demonstrated ability to work collaboratively across various organizational levels and lead without direct supervisory responsibility
7
Skills For Financial Compliance Analyst Resume
- Keep knowledge of control owners and stakeholders up-to-date with training and webinars
- Communicate and resolve current reported deficiencies with control/application owner’s
- Ensure that all compliance documents are stored centrally in the annual GCC document library
- Ensure timely adherence and compliance with new Regulatory and Compliance Mandates, Internal Policies and Directives as well as Legal and Contractual Requirements. Guarantee that the GCC Framework is kept up-to-date
- Monitor the Software licensing processes and be a constructive partner for procurement on new acquisitions and on new service models (e.g. cloud computing requirements)
8
Skills For Senior Financial Compliance Analyst Resume
- Consult and partner with internal audit on all relevant IS questions
- Pre-evaluate request for changes to standard controls or requests for local controls to be implemented
- Support control owners in affiliates in case of timeliness or quality issues in the control execution, escalate issues to FMs and FDBC
- Drive and organize self-assessment of controls (CSA) based on ICFR requirements together with the supported countries
- Supports countries in internal/external audits related to ICFR or SOD
- Collect issues and improvement areas related to design of controls and feedback to change management teams (CMT)
- Monitor issues related to ICFR and SOD and share with Dia FinCom
- Proficiency with PowerPoint, Excel and MS Word
9
Skills For Internal Controls & Financial Compliance Analyst Resume
- Studies in international development an asset
- Communicate with foreign partners
- Methodical, analytical and insightful approach (structured thought)
- Proactivity, leadership and initiative
- Motivated self-starter who is able to work independently and in a team environment
- Identifies risks, proposes recommendations and solutions to issues and implements solution for problem resolution
- ERP system: Knowledge of SAP and HFM
- CPA (active license), CMA, or MBA required
10
Skills For Senior Global Financial Compliance Analyst Resume
- Extensive knowledge of GAAP, internal controls, and compliance
- Self-motivated, pro-active, anticipates future needs
- Contract potential for conversion
- Day to day responsibilities - Manage Risk and controls along with issue assessments and finding resolution. Manage Risk and controls along with issue assessments and finding resolution
- 4/5 Audit experience with SAP in a decentralized environment. Experience in coordinating and/or supporting internal control testing programs including relationship management with external auditors
- Self-starter, positive attitude, high-energy, motivated, enthusiastic with an outgoing, can-do attitude
- Communicate complicated issues in an easy to understand and concise method
- Drive changes and implementation of processes and standards
- CPA or CMA certification beneficial but not required
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